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BS

Barry G. Steele

Some features on this profile are disabled
CRD#: 1000525
BS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Barry Gene Steele was a registered financial professional .

Barry is a previously registered financial professional and started their career in finance in 1981. Barry had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 5, 2004 - December 31, 2025

THOROUGHBRED FINANCIAL SERVICES, LLC

RIA
CRD#: 47893
BRENTWOOD, TN
Past

April 1, 2000 - December 31, 2025

THOROUGHBRED FINANCIAL SERVICES, LLC

BD
CRD#: 47893
BRENTWOOD, TN
Past

March 5, 1986 - April 1, 2000

ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION

BD
CRD#: 17472
BRENTWOOD, TN
Past

October 13, 1981 - February 8, 1986

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893 / SEC#: 801-56741, 8-51944

RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/8/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/27/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1984
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 9/21/1981
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/27/1981
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893 / SEC#: 801-56741, 8-51944

RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
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Contact information

Main Address
5110 Maryland Way Suite 300, Brentwood, TN 37027-7508
Mailing Address
5110 Maryland Way Suite 300, Brentwood, TN 37027
Phone number
(615) 371-0001
Established
Tennessee since 06/24/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

APPENDIX I THOROUGHBRED FINANCIAL SERVICES, LLC, WRAP FEE PROGRAM (3/31/2025)
THOROUGHBRED FINANCIAL SERVICES, LLC (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
PARKER FAMILY TRUSTMEMBER
ATKINS, JOHN SEXTONMEMBER709695
HARTLEY, LAWRENCE RANDALLMEMBER1235172
PARKER, PATRICK GIBBONSMEMBER709713
WEDDINGTON, WILLIAM ALLENMEMBER709720
HERNDON, JACK CLARK JREXECUTIVE V.P. SECURITIES1286530
KELLY, DANIEL JAMESV.P. OPERATIONS - CCO, CFO2378762
PARKER, SUSAN SWEENEYTRUSTEE OF PARKER FAMILY TRUST3265529
PARKER, THOMAS JENKINSPRESIDENT, CEO356789

Regulatory assets under management

Total Number of Accounts6,789
AUM (Assets Under Management)$ 3,409,535,678

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893

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Contact information

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